Unit 9: Managing Electronic Records and Archives 	including EMAIL
9.O1	Overview of Unit 9
9.02	Background	
9.03	Roles and Responsibilities	
9.04	Definitions

Change proposed

Electronic Records issues

9.05		Accessible and Protected Electronic Records 
9.06	Long Term Electronic Records Protection
9.07	EMAIL Records: Filing and Storing
9.08	Storage On-Line, Near-Line and off-line comparisons
9.09		Moving E-mail from the in box to temporary folders

Email Access and Acceptable Use
9.10		E-mail & Internet Purpose
9.11		Policy on E-mail Access
9.12		Acceptable use for official records

Etiquette
9.13 What to send via EMAIL and what not to send
9.14 Copying Email to Others

Same as Original

9.15	Progress Check
9.16	Remember	
9.17	Summary	

Attachments to Messages - Move to Annex G or point to ITD workbook

Note for Security related issues see the ITD book:
-	Security administrator role 
-	Providing  staff with EMAIL access by  issuing  id and generic start-up password. 
-	Procedures for enhancing Security on a network.

9.01	Overview of Unit 9

Managing Electronic Records and Archives, including EMAIL

The use of electronic records including e-mail  in UNICEF has increased significantly over  the past few years. Most field offices are now connected via the intrernet and the use of electronic records continues to grow. This unit explains:
•	Registering and Protecting electronic records 
•	Continuing electronic records accessibility over time
•	Strategy for Filing and storing E-mail messages
•	Considerations for making  On-Line, Near-Line and off-line store decisions
•	Email Access and Acceptable Use
•	Basic E-mail etiquette and related Links to other sources

9.01				Background
Electronic records use in UNICEF is increasing and often speeding or improving communication and transactions. In many ways, electronic records are replacing paper. This migration from paper to electronic forms presents several records management challenges. This is most notable for E-mail and individually maintained electronic records:
•	Electronic records that are not registered are difficult to reliably retrieve.
•	EMAIL messages are stored on a central computer disk and often not printed to paper and stored in a file. Therefore, there could be no practical way to retrieve a historical record of a message, unless they continue to be electronically available and  protected;
The responsibility and procedures for maintaining electronic records including  (EMAIL) messages are similar to those used for paper records which need to be saved for permanent or long term retention.  As was true for records on other physical storage medi, it is important to ensure that there is a historical trail of all electronic records,  that they are registered and accessible for retrieval.

Electronic records are as important as paper records. It is, therefore, important not to delete what may be considered the record copy of important documents from a user's EMAIL or electronic record system unless it has been transferred to a more secure location or paper media.  

9.02				Roles and Responsibilities
[Consider pointing here to responsibility for all records in previous chapters – with any exceptions noted.  See revised Chapter 10? Or easier to let concepts repeat?

All  staff members are responsible for ensuring that electronic records [including e-mail]  they issue, receive, or collect are properly registered.  In addition, they are responsible for ensuring that their support staff understand and use the systems properly.  Staff members are expected to exercise reasonable care in protecting the electronic records.  They must turn over to their successors any relevant electronic files.  
Prior to separation from UNICEF or transfer to another post, staff members shall make arrangements for the transfer to secure storage of those records in their possession not retained for their successor and shall not remove any official records from the UNICEF premises. Staff members to be separated are entitled to have a reasonable number of unrestricted resource documents copied at their own expense, and to retain their private papers. 

The Head of office is responsible for assigning staff to create an electronic filing system; establishing the procedures to be followed and ensuring that all staff are familiar with what is to be filed.  Until an enterprise wide electronic record and archive package is available to all work units, each field office or Hq division is expected to identify on a common drive what their directory filing structure will be and the type of electronic records to be routinely filed there. 
[More details on this procedure and the temporary solution for protecting important office or divisional electronic records and e-mail messages in a centrally backed up store will be set out in a separate Administrative Instruction from ITD? ]
The head of the office is also responsible for determining which electronic records at the field office are vital and which records should be restricted, and for ensuring that staff are prepared and procedures are in effect to protect these records. The emergency situations plan should also address these issues.
The administrative, operations or designated officer in a field office is responsible for ensuring that a procedure is agreed in  the office for registering electronic records including e-mail and that all staff members understand and use the system.
Same as 
The Records and Archive Management Unit ‘s role is identical as that for other media [se Chapter 10]. In addition for electronic records RAM officer  will advise offices on related policy and procedures and periodically monitor and report on conformance. 

9.03				Definitions
Electronic Records

E-Mail

Storage systems 
[for these definitions refer to chart in section]
•	On-line
Records  are considered to be on-line until they are filed off the main creation or distribution  system.  Time frame for retreeval I usually immediate 
•	Near-Line 
Electronic records stored on some secondary media  are considered to be near-line until they are filed off  the system.
•	Off-Line
Removable media (CD-ROM, diskettes, tapes, etc.) are considered to be off-line filing systems. And usually require human intervention to reload.
Private Papers
The private papers of UNICEF staff members are those that have no connection with their official work for UNICEF, but which have been filed in the office by a member of the staff.  They may also include duplicate copies of official documents related to or reflective of personal performance, but not subject to restrictions.

- Electronic Records issues

9.05			Making Accessible & Protecting Electronic Records
 The rules which apply for paper records apply just as well for electronic records - especially where there is no paper copy.  As for paper records, staff members are expected to follow relevant guidelines and:
a)	Decide what needs to be kept;
b)	File those records on a regular basis in the appropriate location;
c)	Make the records accessible to all those who require them for their work;
d)	Protect the electronic records using backups or secure periodic transfers; and 
e)	Turn over to their successors any relevant electronic files.

It is suggested that personal messages be placed in a separate folder or on a disk that the staff member can either delete or take with them should they be transferred or leave the organisation. 	

9.06				Long Term Electronic Records Protection
All records regardless of physical form, created or received by UNICEF staff in connection with or as a result of the official work of UNICEF are the property of UNICEF. [CF/AI/1983/359 para. 9].  The rules, which apply for certain types of paper records, apply just as well for electronic records - especially where there is no paper copy. 
Electronic records must be protected. Consult Financial Circular 025/Revision 1 [CF/FC/O25/R01] and the UNICEF Records Appraisal Grid for the time periods records should be kept.
Until a centrally controlled and certified backup digital archive [near-line or off-line] is available, regularly back up your local near-line or off-line devices.
Private and personal messages be placed in a separate folder or directory. Staff are expected to respect the confidentiality of other staff members personal records. UNICEF can not be responsible for protecting the copies of personal messages or private records the staff member leaves in an office or on the hard drive upon transfer or separation.

9.08				Storage On-Line, Near-Line, Off-line Comparisons
Need better definition of online, nearline, offline along with appropriate examples for each one.  Possibly chart with 

Placement:	On-line
 [immediate access]	Near Line
[reasonable access]	Off-line
[delayed access]	
	Creation Stage	Initial & Frequent Reuse	Limited Reuse	
Age of items:		[1-3] years	3-10 years	10 yrs to permanent]	
Medium		
Paper based records.
 e.g. file folders, binders, etc.	Personal  Office 
[e.g Officers’ “desk–at–hand” records  ]	Work Group
Shared Space [e.g. units hallway or work area stored records i.e. shared  case files on purchase orders, donors, countries etc. ]

Office shared record storage area
	Off site Storage facility 	
	
Electronic records [ER] [e.g. docs, spread sheets etc	
PC files,	
LAN files.				
					
ER sub set – E-Mail messages	Mail Message Delivery system					

9.07				EMAIL Records: Filing and Storing

EMAIL provides four basic folders for each user.  These are called Inbox, Drafts, Message Log and Trash.  Additional subject matter folders can be created for storing incoming and outgoing EMAIL messages - arranged by subject. 

•	IN-BOX:  Filing on Receipt: After initial reading, messages should either be, moved to an on-line folder, a “near-line” or “off line” device; or deleted. It is useful to at have at least one subject folder that is marked pending. Move messages that have been read to the pending file if you have not completed action within 3 days of reading.  This will keep your in box manageable.
•	DRAFTS:messages that you are in the process of writing can be saved in the draft folder. Messages leave the draft folder when they are sent. Make sure you register and code new messages.
•	Outgoing MESSAGE LOG: Users should enable the Message Log feature.  Any message you send or reply to will automatically be listed in the Message Log.  This container functions as an electronic shron “out file”.  Messages in a user's outgoing Message Log can be an invaluable resource for important information which did not necessarily get copied to a folder or for which the exact subject folder is not recalled.  However, the contents of the message Log should be moved to “near Line” at least every month 
•	FOLDERS: EMAIL should be considered as temporary-working files.  At regular intervals, items in the folders should be moved to near or off-line storage.  It is possible to set the EMAIL “Rules" to automatically move messages from folders to near-line at regular intervals
TRASH: Messages to be discarded are stored in the TRASH folder. Empty Trash often.

9.09				Moving E-mail from “in box” to temporary folders

Below is a quick guideline on moving messages: Many staff received a good volume of e-mail messages. The is a need to quickly move messages out of the “in-box”  and high up on folder list but "not in archive yet" since they would often go back to those during the first months.

 It was used as their incoming Chron Log.

They also wanted to protect the UN-seen from getting wiped out during the first number of months_but didn't want to send right to archive. Especially for those who are gone for long periods on trips.  As they started to review and process a couple of hundred they wanted to be able to move "seen" out at end of day so when returned to it a few days later, did not have those also to wade through. 

by the way,  "see/seen" was chosen as better than "read/read"
The terms "read" and "unread" were problematic because: 
-	"read" can imply future as in "to read" [not seen]
or
-	"read" can imply past [seen] 

When or whether to move un-seen to archives is a separate issue. But the separate folders for "seen" and "not seen" appeared to have a clear purpose.

- Adhiratha
____________________Reply Separator____________________
Subject:	Re:Fwd:E-mail Disappearing from IN Box or Sent Mail Log
Author:	Lorna Grant
Date:		21-Oct-1999 2:50 PM
Adhiratha, 
the "messages seen" and "messages not seen" approach seems very generic. would someone archive messages they had not seen? 

Perhaps what i'd like to do is a tip on creating rules that can automatically move files from inbox or sent box to folder and from folder to archive based on date. what do you think?

encouraged them to use something unique for first eight character of Folder so easy to match to archive [with same unique eight character].

Hello   ,
To assist with the e-mail disappearing problem, below is quick approach:
=================================================
 I suggest 2 immediate actions,  I can assist with this.[should take about ten minutes]
1.	Create 3 folders
2.	Create 4 Rules [to auto move from "In box" & "Sent" to Folders]:

Before end of year I suggest two other actions 
3.	Create  3 Archives on LAN:
4.	Create 3 Rules [to Move from folders to Archives]
- Adhiratha
=================   Details  ==================
1.	Create folders [messages in folders are now protected for a year]
	a.	FOLDER  -  IN Messages NOT seen
	b.	FOLDER  -  IN Messages SEEN
	c.	FOLDER   -  SENT Messages

2.	Create Rules:
	a.	Move IN NOT Seen to Folder 1.a 
	b.	Move IN Seen to Folder 1.b
	c.	Move Sent to Folder 1c
	d.	Move from folder 1.a [with status changed to seen] to folder 1.b

	e.	[test running of rules]  set to run monthly, or can also execute manually 

3.	Create  Archive on LAN:
	a.	Archive  -  IN Messages NOT seen
	b.	Archive  -  IN Messages SEEN
	c.	Archive  -  SENT Messages

4.	Create Rules [Move from folder to Archive]
	a.	Move IN NOT Seen  Folder to Archive 3.a 
	b.	Move IN Seen Folder to Archive 3.b
	c.	Move Sent Folder to Archive 3.c

	Set above to run Manually.  Run every 3 months
- Adhiratha

Email Access and Acceptable Use

9.10				E-Mail & Internet Purpose & Acceptable Use: 
All staff are responsible for the content of electronic messages. The use of EMAIL for personal commercial purposes is prohibited. Users of UNICEF EMAIL systems will be help accountable for unauthorised or inappropriate use of EMAIL

E-mail and Internet browsing are made available for the work of the organisation.  However, since there is minimal direct cost when it is also used for personal matters, staff are authorized to use the system for limited private communication.   

It may not be used for commercial gain and the individual is solely responsible for the content of any personal messages transmitted.  Conducting private business, perpetuating chain letters, intentionally accessing and transmitting messages containing subject content which would be considered most inappropriate in more traditional media, deliberately disseminating a computer virus or playing games over the UNICEF networks is not permissible. 

Personal use of E-mail or Internet shall be done outside the time counted towards the regular office hours.  

Staff should be aware that an E-mail, especially when it is transmitted between locations, theoretically could be accessed by third parties.  This same problem exists to various degrees with more traditional types of communication.  

Staff are expected to show due courtesy in respect for others private records.  Except for authorised audits, ongoing system maintenance tasks and other established needs of the organisation or work unit, no one should attempt to access the inbox or stored folders in another’s individual’s mailbox without the permission or agreement of the individual. 

9.11				Policy on EMAIL Access
All staff members in UNICEF offices should be granted an individual EMAIL address and password as a basic working tool. Staff members are authorised to send EMAIL messages to anyone within UNICEF. Except exceptional cases [some confidential personal matters], if you do choose to address a higher level, it is best to copy those who are responsible for the subject or functional area.
Short and long‑term non‑regular staff may be provided with EMAIL access as business needs require and with the approval of the organisational unit for which they are working. Access restrictions may apply.  Affiliated contractors may be given EMAIL access under the respective contractual arrangements governing their work.  The sponsoring office is responsible for notifying the system administrator when access should be terminated.
9.12				Acceptable use for official records
Electronic records and E-mail  messages were not universally recognized as a certifiable and legally binding record.  This is beginning to change as the software for certifying authenticity and reliability are improved.  In any case, if a paper copy has not been kept and only the electronic version is available, this may be assumed to be the “record copy” since it is the “best available” copy.  In some cases paper copies [e.g. signatures] are required and must continue to be to be retained for official record or archive purposes. This  means they should  be printed and filed in the office record filing system.  Such messages include policy, procedural or decision-related matters.  Messages involving financial or legal commitments on behalf of the organisation previously had always been sent on paper with an authorised signature. However, this too is changing and with it the requirement  to more seriously protect the electronic copies..

2.	Monitoring Internet use. Load management is one of the system maintenance tasks that need to be performed for our efficient use of the Intranet. This can be greatly assisted by monitoring software, which UNICEF has been testing and is now using. Staff should be aware that these systems are capable of recording the World Wide Web site visit, each chat, newsgroup or email message and each file transfer into and out of our internal networks. Systems managers will review Internet activity and analyse usage patterns to assure that the resources support the highest levels of productivity. To do this it may be also be necessary to inspect any files stored in the private areas of the UNICEF network. Therefore, staff should not assume privacy when using the UNICEF network. 

3.	Statement Qualifiers and UNICEF System Security Information
Staff participating in public electronic forums or chat groups covering subject matter for which they are not the recognised spokesperson for UNICEF should indicate that "the individual opinions expressed are the responsibility of the author and do not necessarily reflect the official views of UNICEF".  Wherever possible if there is a publicly available document that contains the relevant UNICEF official position it should be referenced.   Information concerning UNICEF systems security should not be shared with outside organisations without the specific agreement of ITD.

Etiquette  [Consider transfer to Annex G]
9.12				What to send via EMAIL and what not to send
An EMAIL message is considered the same as formal memorandum for internal UNICEF business purposes.  However, it may  not replace a legally binding financial agreement between UNICEF and a third party.
Since 1996,  offices have used  EMAIL to attach their regular submission of GFSS transactional data to Headquarters (Reference CF/AI/1996‑001 Guideline for Data Exchange using E‑Mail).  This reduced the lag of recording office data in headquarters systems and enabled more timely reconciliation of accounts between HQ and offices.  
9.13				Copying EMAIL to Others
Please exercise restraint in the size of messages and the number of people you copy on routine replies.  Wherever possible transfer attachments in an E-mail text file, send longer messages in separate numbered parts or send a summary indicating where the full text can be accessed. It is expected practice to send copies of E-mail to those concerned or mentioned.  However, it is also important to limit the number of people you copy messages, especially to staff who supervise several people, as they can be swamped with E-mail. 

Messages should be addressed to a single recipient as in a written memo.  The use of “cc:” should be limited to those who really need to be kept informed and those who are mentioned by name in the body of the message.
Under normal circumstances, using “bcc:” is impolite and should be avoided (for example, sending a request addressed to a staff member and a “bcc:” to that person's supervisor).  “bcc:” messages are not tagged as such by the Internet, which can lead to misunderstandings if such messages are subsequently responded to or forwarded back to the original recipients.
There is a practical exception when “bcc” is usfull. If a message is sent to a large distribution list, every recipient is listed whenever the message is printed.  The list could be two or three pages long.  To overcome this, send the message to all the recipients using “bcc:”. 

9.14		Progress Check
1.	Which staff members in the office are entitled to access to EMAIL?

2.	Where should important electronic Rerords and EMAI records be stored? 

3.	Answer the following True (“T”) or False (“F”):

     	After initial reading, messages should either be, moved to an on-line folder, a “near-line” or “off line” device; or deleted. It is useful to at have at least one subject folder that is marked pending. Move messages that have been read to the pending file if you have not completed action within 3 days of reading.  This will keep your in box manageable 
         	EMAIl records should be registered.
         	EMAIL is primarily used for staying in touch with friends and family
		Answers

1.	Which staff members in the office are entitled to access to EMAIL?
All UNICEF staff members, and consultants and short-term staff, with the permissions of the managing officer.

2.	Where should important EMAIl records be stored? 
Important EMAIL records should be stored in an on-line folder, a “near-line” or “off line” device; or deleted. It is useful to at have at least one subject folder that is marked pending

3.	Answer the following True (“T”) or False (“F”):

     F	 After initial reading, messages should either be, moved to an on-line folder, a “near-line” or “off line” device; or deleted. It is useful to at have at least one subject folder that is marked pending. Move messages that have been read to the pending file if you have not completed action within 3 days of reading.  This will keep your in box manageable 
     T    	EMAIl records should be registeredd.
      F   	The use of EMAIL is -------------------------------.  Remember, All records regardless of physical form, created or received by UNICEF staff in connection with or as a result of the official work of UNICEF are the property of UNICEF.

9.15             Remember

The policies and procedures for the management of EMAIL and electronic records in UNICEF are in development. However, it is important to remember the following: 
[Rethink for most important concepts]
1.	Electronic records an e-mail are not universally recognized as legally binding in all situations. However the situation is changing.
2.	The procedures for maintaining electronic records including E-mail messages are similar to those used for paper records which need to be saved for permanent or long term retention. 
3.	Ensure that there is a procedure registering and protecting  electronic records and E-mail and that they are available for retrieval and reuse.

For more information contact the Records and Archive Management Officer, NYHQ.
9.16				Summary
You now have an overview of UNICEF guidelines covering electronic and EMAIL records.

+Remember
•	All EMAIL and electronic records in the office must be filed and registered.
•	Save copies of electronic recors on paper or using off-line media.

You have now completed Unit 9. If you are taking this programme with a trainer, wait for instructions from your trainer before proceeding. If you are taking this programme by yourself, continue to Unit 10 now.

To be excerpted as helpful

								

7.	Details and Comments Requested: Other related or more detailed policy or procedural subjects will be covered in an Administrative Instruction to be issued shortly by ITD.  In a few months time a more detailed Information Circular covering frequently asked questions concerning practical implementation of the procedures with relevant annexes will also be circulated.  If you would like a copy of the table of contents or full text of the latest version of the detailed draft Information Circular to discuss in your office or to offer comments please contact ITD 
Moving to Annex G  Details of Electronic Records and E-Mail
?.??				Attachments to Messages
Use standard file extensions for attachments to EMAIL: for example, .DOC for Word, WPD for WordPerfect 6.1 or .WB2 for Quattro Pro 6.0), and identify the software needed to view or run the file in the body of the message.  This will make it easier for correspondents to read your attachments.